Neil works with his clients to help build and protect their wealth through comprehensive financial planning, investment management, and risk management. His relationship with his clients begins with their personal financial plan, which can provide strategies for investing, tax reduction, retirement income, insurance protection (life, disability, and long term care), and estate planning.
He also specializes in the area of designing and implementing retirement savings plans for small businesses. He has presented many educational seminars to employer groups of all sizes on a wide range of topics including saving for college, planning for retirement, and investment management.
Neil has over 30 years of experience in financial planning, which he began shortly after receiving his BA in Business and Economics from St. Anselm College in 1984. He received the Certified Financial Planner™ designation in March of 1992. He currently holds his Series 6, 7, 22, 63 securities registrations, as well as Life, Accident & Health, and Variable Annuity insurance licenses. He is a multiple year winner of the Five Star Best in Client Satisfaction Wealth Manager Award* through Cincinnati Magazine.
Neil and his wife Ellen have two daughters, and live in West Chester, Ohio. He enjoys spending time with his family and their extended families from Ohio and the east coast. He is an active member of St. John the Evangelist Church in West Chester.
*Five Star winners do not pay to win or to be considered for the award. Professionals showing up in Featured Results, however, may have paid a fee to appear there.
The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not; A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or Five Star Professional’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; feedback may not be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria – considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Award does not evaluate quality of services provided to clients. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The Five Star award is not indicative of the wealth manager’s future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their client’s assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by Five Star Professional or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the future. For more information on the Five Star award and the research/selection methodology, go to fivestarprofessional.com. 1,413 Cincinnati-area wealth managers were considered for the award; 239 (17 percent of candidates) were named 2018 Five Star Wealth Managers.